AE SOW - Marion Design.pdf

VA Northern Indiana Healthcare System Jul 17, 2024 Marion VA Medical Center 1700 E 38th Street Marion, IN 46953

ARCHITECT-ENGINEER DESIGN SCOPE OF WORK

Build Warehouse, Marion

PROJECT NO: 610-119

PROJECT NAME: Build Warehouse, Marion

ESTIMATED CONSTRUCTION COST: $13,860,000

1. GENERAL INTENT:

The Contractor (herein referred to as “A/E”) shall provide Architect/Engineer (A/E) services to design a construction project at the VA Northern Indiana Health Care System, VA Marion Medical Center, Marion, IN in accordance with this design scope of work.

2. STATEMENT OF WORK:

A/E Part One Services (also known as Design Phase) for this design project includes site visits, field investigation, studies, and user interviews to prepare drawings, specifications, and cost estimates for all facets of work and disciplines/trades to facilitate a construction project to construct a warehouse addition onto Building’s 17 and 174. This project will construct an approximately 14,500 gross square feet addition to Building 174. The design will also remodel approximately 300 gross square feet within Building’s 17 and 174 and include a freight elevator and stairwell that will connect the existing basement tunnel of Building 174 to the basement entrance of Building 16.

A/E Part Two Services of this design project (also known as Construction Period Services) includes responding to construction contractor Requests For Information (RFIs) during the solicitation (solicitation support) and construction phases of the construction project, attendance at pre-bid, post-award and commissioning kick off construction project conferences, review of construction material submittals and shop drawings, approximately 2 site visit per month during construction (both scheduled and emergent) to ensure compliance with the design drawings and specifications, preparation of site visit reports, coordination with project commissioning requirements, review of any construction project modifications for cost and technical acceptability, attendance and participation during the final acceptance inspection, preparation of the punch list and preparation of record drawings of the completed construction project based on the construction contractor’s as-built drawings. The A/E shall prepare a submittal log to be utilized by the VA during construction period services, maintain RFI log and provide meeting minutes for weekly construction meetings throughout the duration of construction. All Part Two Services are optional line items and will not be exercised at the time of award.

The above paragraphs constitute a basic outline of the work to be accomplished and in no way comprises all the details for design of this project. The A/E shall initiate detailed inspection of the project site to determine the needs and conditions for the design of this project. Copies of VA Northern Indiana Healthcare System, Marion VA Medical Center, Marion, IN record drawings will be made available to the highest rated A/E firm; the A/E will verify the validity of the record drawings prior to the start of design work and conduct site investigations as necessary throughout the design. The Marion campus map will give the A/E firm a basic understanding of the Marion VA Medical Center campus.

The A/E shall be solely responsible for the management, including all associated labor, equipment, materials, mailing costs, and inspection, to meet the requirements of the design project. The A/E shall further provide meeting minutes for all meetings held under this design project.

The A/E firms’ representatives performing site investigations on Marion VA Medical Center campus must have the following additional requirements before starting site investigations on campus:

1. Contractor badge must be obtained and worn by contractor or representative at all times while on campus

If at any time an employee of the A/E firm becomes ill, they should not remain or report to work at Marion VA Medical Center campus.

3. DESIGN WITHIN FUNDING LIMITATIONS:

The design shall be prepared by the A/E to permit the award of a construction contract, using Federal Acquisition Regulation procedures for the construction of the facilities, at a cost that does not exceed the project’s estimated construction contract price of $13,860,000. A minimum of 10% the construction budget in bid deducts shall be planned for.

4. DESIGN INDEPENDENCE, FURNITURE AND EQUIPMENT:

Designs for construction must produce a “complete and usable” facility or improvement when constructed. VA policy (VHA Office of Capital Assets Management, Engineering and Support memo Updated Construction Guidance and Expectations dated Sep 12, 2016) requires the A/E to certify that their design (including all bid alternates/bid deducts) is independent of any future construction project. In addition, the A/E must certify that it has produced a design that does not include furniture and equipment that will be procured separately. Equipment that can be part of the design will include those items to meet code requirements for building occupancy, items covered in the VA’s Master Construction Specifications (PG-18-1) Divisions 1 through 10, 13 through 26 or 28 through 48, non-IT equipment items covered by Division 27 and items covered by Division Numbers 12 31 00, 12 32 00, 12 34 00 and 12 36 00 in accordance with Appendix A, VHA Directive 7516 VHA Activations Program dated Oct 24, 2023.

The A/E shall submit as part of the Final Bid Documents submittal a signed letter on company letterhead stating the design’s independence.

5. DESIGN CRITERIA:

The VA Technical Information Library (TIL) available at http://www.cfm.va.gov/til/index.asp is managed by the VA Office of Construction and Facility Management and is the master repository for all VA Numbered Standards for Construction to include design and construction specifications, procedures, standard details, BIM/CAD standards, equipment guides, space planning and design guides. The documents of the TIL shall be the minimum design criteria for all VA projects performed in the construction of new facilities and the modernization, alteration, addition, or improvement of its real property. All design documents shall be developed in accordance with the VA TIL, including (but not limited to) the following listed Department of Veterans Affairs references (most recent version/edition):

PG-18-1 Master Construction Specifications SOW Attachment 01 VHA Required Division 01 Specification Section List PG-18-3 Design and Construction Procedures [Including but not limited to: Codes, Standards, and Executive Orders] PG-18-4 Standard Details and CAD Standards PG-18-5 Equipment Guide List H-18-8 Seismic Design Handbook PG-18-9 Space Planning Criteria PG-18-10 Design Manuals (by discipline) [Including but not limited to: Guiding

Principles checklists as indicated for Minor Projects in Sustainable Design Manual, Life Cycle Cost Analysis]

PG-18-12 Design Guides (graphical, by function) PG-18-13 Topic Specific Standards and Criteria PG-18-14 Room Finishes, Door, and Hardware Schedules PG-18-15 Minimum Requirements for A/E Submissions PG-18-17 Environmental Compliance H-7545 VA Cultural Resource Management Procedures ALERTS VA Standards and Design Alerts

Where conflicts exist between VA adopted codes and standards and the documents on the TIL, the A/E shall bring this to the attention of the VA. The resolution of the conflict shall be made by the authority having jurisdiction for VA to ensure consistency department wide.

8. DESIGN COLLABORATION:

The A/E during this design project shall collaborate with VHA Office of Healthcare Environment and Facilities Programs (HEFP) staff, VISN 10 Capital Assets Management staff and the Independent Life Safety Review Agent (LS Agent) for the project. Design submittal comments from these contractors, if concurred with by VA, shall be incorporated into the design. HEPF and/or VISN deliverables shall be coordinated with the A/E’s design submittals to ensure compliance with all requirements are met. The A/E is required to ensure all elements of the design adhere to the Life Safety Code, including recommendations for temporary construction barriers, prior to the Independent Life Safety review.

http://www.cfm.va.gov/til/index.asp http://www.cfm.va.gov/CFM/TIL/spec.asp http://www.cfm.va.gov/CFM/TIL/cPro.asp http://www.cfm.va.gov/CFM/TIL/sDetail.asp http://www.cfm.va.gov/CFM/TIL/equip.asp http://www.cfm.va.gov/CFM/TIL/seismic.asp http://www.cfm.va.gov/CFM/TIL/planning.asp http://www.cfm.va.gov/cfm/til/dManual.asp http://www.cfm.va.gov/cfm/til/dGuide.asp https://www.cfm.va.gov/til/topicSpecific.asp http://www.cfm.va.gov/cfm/til/room/RoomFinishes.pdf http://www.cfm.va.gov/til/aeDesSubReq.asp http://www.cfm.va.gov/til/etc/NEPAGuidance.pdf http://www.va.gov/vapubs/viewPublication.asp?Pub_ID=584&FType=2 https://www.cfm.va.gov/til/alert.asp

9. INDEPENDENT LIFE SAFETY REVIEW:

The A/E shall incorporate any comments from the VA third party life safety review.

10. ENVIRONMENTAL PROTECTION:

The A/E shall assist the VA with completion of a National Environmental Policy Act (NEPA) assessment as required by the VA Northern Indiana Health Care System, Marion VA Medical Center, Marion, IN. If the NEPA assessment results in potential environmental impacts, the A/E shall be responsible for completing any auxiliary documentation required per PG-18-17 NEPA Interim Guidance for Projects located on the TIL (http://www.cfm.va.gov/til/etc/NEPAGuidance.pdf). Additional requirements may include, but are not limited to, Environmental Assessment, Environmental Impact Statement, and Record of Decision. The NEPA analysis and concluding documentation must be completed by the Final Bid Documents submittal.

9. PHYSICAL SECURITY:

The A/E must include a certified physical security specialist. The specialists must be involved with the design beginning with the concept phase and the qualifications must be submitted to the COR for review and approval prior to the concept/basis of design phase. The specialists shall meet the specific requirements listed in the Physical Security Design Manual located on the TIL ( https://www.cfm.va.gov/til/dManual.asp#PSR). The A/E shall ensure that all aspects of the current VA Physical Security Design Manual are incorporated into the design and shall prepare a written report acknowledging compliance as required by the VAHCS. The A/E must inform the COR of any physical security items that will be difficult to achieve during the concept/basis of design phase of the design and assist the VA with waiver requests as necessary.

10. TELECOMMUNICATIONS DESIGN:

In accordance with “VA Telecommunications and Special Telecommunications Systems Design Manual,” February 2016 (https://www.cfm.va.gov/til/dManual/dmTelecomm.pdf), Paragraph 1.2 (d), telecommunications design must be performed and stamped by a BICSI Registered Communications Distribution Designer (RCDD) for all projects.

11. SUBMITTAL REQUIREMENTS:

Design submittals shall follow the requirements of Program Guide, PG-18-15, Volume C - A/E Submission Instructions for Minor and NRM Construction Program dated November 2008.

The A/E shall deliver design submittal documents that follow the iterative phase breakdown for design work in PG-18-15 and as additionally specified below. Specific requirements for each discipline/work product listed under each phase can be found in PG-18-15; it is expected for the http://www.cfm.va.gov/til/etc/NEPAGuidance.pdf https://www.cfm.va.gov/til/dManual/dmTelecomm.pdf phase of design that each of the checked items in the SD/DD/CD columns will be completed for the submittal. The A/E shall attend a review meeting following each design submittal as indicated under the Project Schedule section of this scope of work. Each new submittal will incorporate all VA comments from the previous submittal. The asbestos abatement requirements in PG-18-15 are applicable at the Marion VA Medical Center campus due to the age of the campus.

The following submittals will be required for this project:

Quality Assurance/Quality Control (QA/QC) Plan Basis of Design (BD) – 10% - In addition to the requirements in PG-18-15, a Basis of

Design is required. Basis of Design is a narrative presentation of facts, sufficiently complete, to demonstrate that the project concept is fully understood, and that subsequent design details, and their ultimate presentation in the final drawings and specifications, will be based on sound architectural and engineering decisions.

Conceptual drawings of the planned design and the initial cost estimate will additionally be included.

Schematic Design (SD) – 35% Design Development (DD) – 65% Construction Documents (CD) – 95% Final Bid Documents (Bid)

12. DRAWING FORMAT:

All drawings shall adhere to VA project software requirements for Building Information Modeling (BIM) and Computer Aided Design (CAD) available at http://www.cfm.va.gov/til/projReq.asp.

BIM software shall be the latest Revit version available to VA Northern Indiana Healthcare System.

The project BIM model minimum requirements shall be developed to include the systems described below as they would be built, the processes of installing them and to reflect record drawing conditions (for future incorporation into the Marion VAMC Master Record Drawing).

The deliverable model at the SD and CD design phases shall be developed to include as many of the systems described below (but not limited to) as are necessary and appropriate at that design phase.

Architectural/Interior Design Square Footage/Volume including Room Names and Numbers Departmental Ownership

(By Common Name, Capital Asset Inventory Department Definition and Strategic Capital Investment Program Department Definition)

Architectural Schedules Walls and Curtain Wall Sizes, Shapes, and Material Data Doors Windows Louvers Roof Floors Ceilings Vertical Circulation http://www.cfm.va.gov/til/projReq.asp

Architectural Specialties and Woodwork Life Safety Information

(Fire Extinguishers, Wall Ratings, Door Ratings, Fire Protection/Alarms) General Signage Schedules Furniture Equipment Structural Foundations Shafts and Pits Mechanical

HVAC

Plumbing Electrical/Telecommunications Power and Lighting Steam Distribution Nurse Call System Asbestos/ Hazard Material Info Security System Information

(Access Controls, Security Cameras, Panic Alarms, Overhead Paging) Exterior Building Information Other Engineering Data as Required

13. SUBMITTAL FORMATS:

Submittals shall be submitted in electronic format and hard copy formats as listed below.

Portable Document Format (.pdf), Microsoft Office Suite formats (.doc, .xls, and .ppt), Microsoft Project (.mpp), Autodesk Revit Project (.rvt) and AutoCAD (.dwg) files are acceptable.

Submittals shall additionally be compliant with Section 508 of the Rehabilitation Act (29 U.S.C.

'794 d); information on the requirements for accessible media can be found at http://www.section508.gov/. The A/E shall be responsible for providing:

Meeting/Conference Minutes Meeting minutes for all formal meetings and conferences held with the VA; including weekly construction meetings. Meeting minutes shall be submitted within seven (7) calendar days of the meeting or conference. All documents in any of the electronic formats listed above.

Minimum meeting minutes requirements Project name, number, meeting host, meeting name Date, time, meeting ID, call in number, duration, and consecutive number of total related meetings Participant list (name, title, phone number (office and mobile), email, attended meeting

(yes/no check box) Meeting purpose, roll call, and additional Items Agenda items (decisions, action items, and fixes or next steps) Next meeting date and time Detailed attachment list http://www.section508.gov/

Construction Cost Estimates Construction cost estimates shall comply with the latest version of the VA Manual for Preparation of Cost Estimates & Related Documents for VA Facilities. This document is available on the TIL at http://www.cfm.va.gov/cost/index.asp. All estimates in any of the electronic formats listed above.

Quality Assurance/Quality Control (QA/QC) Plan All documents in electronic format.

Basis of Design (BD) All documents in any of the electronic formats listed above One (1) half-size paper bond sets of drawings One (1) paper bond sets of investigation reports, list of any waivers to design standards recommended, design calculations and cost estimate

Schematic Design (SD) All documents in electronic format.

Two (2) full-size paper bond sets of drawings – 2 to VA One (1) half-size paper bond set of drawings – 1 to VA Two (2) paper bond sets of specifications – 2 to VA Two (2) paper bond sets of investigation reports, design calculations, space planning data and cost estimate - 2 to VA

Design Development (DD), and Construction Documents (CD)

Two (2) full size paper bond sets of drawings – 2 to VA One (1) half-size paper bond sets of drawings – 1 to VA Two (2) paper bond sets of specifications – 2 to VA Two (2) paper bond sets of investigation reports, design calculations, space planning data, construction schedule, construction statement of work (SOW) and cost estimate - 2 to VA

Final Bid Documents (Bid)

PDF files of drawings, specifications, and any miscellaneous design analysis documents such as submittal log and physical security compliance report.

Certified memo that the A/E design is independent of future projects and includes all equipment required for the project to be activated/full functional.

Word files of specifications.

Revit and/or AutoCAD files of drawings.

One (1) full size paper bond sets of drawings – 1 to VA One (1) half-size paper bond sets of drawings – 1 to VA Two (2) paper bond sets of specifications – 2 to VA One (1) paper bond sets of investigation reports, design calculations, space planning data, construction schedule, construction SOW and cost estimate - 1 to VA http://www.cfm.va.gov/cost/index.asp

14. OPTION ITEM REQUIREMENTS:

Solicitation Support Services

Pre-bid site visit to include meeting and project walk around. This is the meeting where contractors are invited to the job site to visually inspect the construction site to accurately develop a construction bid package.

Answer any technical questions/requests for information (RFIs) received from contractors over the duration of the solicitation, including questions asked during the site visit. Questions from contractors may come at multiple times and cover several questions over the course of the solicitation period. Technical question responses will be provided to the Contracting Officer who will distribute the information via amendment to the solicitation.

Answers to RFIs will be required from the A/E within seven calendar days of the date the questions are sent to the A/E from either the project COR or CO. An alternate response period may be submitted for review, however, unless approved by the CO and COR, the A/E is required to comply with the seven calendar day requirement.

Throughout the solicitation period, the A/E shall provide addenda as necessary if required to revise specs and drawings.

In response to any technical questions and/or addenda issued during the solicitation period, the A/E shall provide any final revisions to the Bid Set as part of the construction contract. These documents shall be labeled Final Construction Set.

Construction Period Services (CPS)

Requests for Information (RFI) Requests for Information shall be submitted within three calendar days of submittal to the A/E.

Submittal Reviews Submittal reviews shall be submitted within seven calendar days of submittal to the A/E

Site Visit Reports Site visit reports shall be submitted within seven calendar days of the visit. All documents in any of the electronic formats listed above.

Modification/Change Order Requests Modification requests shall be submitted within seven calendar days of submittal to the A/E. This includes the review of the contractor’s change order/modification proposal for construction change orders, as well as the formulation of an IGCE for the modification, as requested. The A/E's reply regarding their review of cost proposals and their recommendations shall include an independent breakdown of costs in detail, quantities, and unit prices and shall cover both additions and deductions of labor, materials, and equipment. The A/E shall also supply cost estimates as requested by the COR for Requests for Proposals for anticipated changes. All documents in any of the electronic formats listed above. Note: If major modification, VA will provide additional time and document format guidance.

Punch List Punch list shall be submitted within seven calendar days of the final acceptance inspection. All documents in any of the electronic formats listed above.

Record Drawings Record drawings shall be delivered to the VA within 30 calendar days after VA acceptance of the construction project. Autodesk Revit Project (.rvt) format and AutoCAD (.dwg) format.

Third-Party Commissioning

The A/E shall provide commissioning (Cx) and Commissioning Agent (CxA) services and deliverables in accordance with the VA The Whole Building Commissioning Process Manual located on the TIL (https://www.cfm.va.gov/til/Cx-RCx/CxManual.PDF). The Commissioning Agent shall be involved in all commissioning phases of the project (Pre- Design, Design, Bid and Pre-Construction, Construction, Acceptance and Testing and Warranty). The commissioning process shall be adapted to the size and complexity of the project. See “Commissioning Agent Tasks” in each section of the commissioning manual for specific details on requirements, but at a minimum the A/E shall develop the project commissioning plan, pre-functional checklists, systems functional performance test checklists, integrated system test checklists, and edited commissioning specification sections, participate in design and construction submittals reviews, answer construction RFIs applicable to commissioning tasks, conduct site visits during design and construction, attend construction progress meetings, observe equipment startup and testing, validate Testing, Adjusting and Balancing (TAB) reports, and provide final commissioning documentation upon project completion.

https://www.cfm.va.gov/til/Cx-RCx/CxManual.PDF

15. PROJECT SCHEDULE/PERIOD OF PERFORMANCE:

The A/E shall perform Part One Services/Design Phase work according to the schedule shown below. If a due date on the timeline below falls on a Holiday or Weekend, the submittal shall be due the following business day. The remaining timeline will not be shifted to accommodate Holidays or Weekends.

Quality Assurance/Quality Control Plan (QA/QC) Submittal

7 calendar days after receipt of Notice to Proceed

Quality Assurance/Quality Control Plan (QA/QC) Submittal Review Meeting

3 calendar days after receipt by VA of QA/QC Submittal

10% Basis of Design (BD) Submittal 30 calendar days after receipt of Notice to Proceed

10% Basis of Design (BD) Review Meeting

14 calendar days after VA receipt of 10% BD Submittal

35% Schematic Design (SD)

60 calendar days after acceptance of 10% BD

35% Schematic Design (SD) Review Meeting

21 calendar days after VA receipt of 35% SD Submittal

65% Design Development (DD)

60 calendar days after VA acceptance of 35% SD

65% Design Development (DD) Submittal Review Meeting

21calendar days after VA receipt of 65% DD Submittal

95% CD Submittal 45 calendar days after VA acceptance of 65% DD

95% CD Submittal Review Meeting 21 calendar days after VA receipt of 95% CD Submittal

Final Bid Documents Submittal 14 calendar days after VA acceptance of 95% CD

Total Part One Services/Design Phase Schedule

286 calendar days

The 286 days listed in part one project schedule may fluctuate based on when submittals meet all VA guidelines and acceptance is issued. If submittals are not accepted due to insufficient design requirements throughout the design period and additional time is deemed necessary. It is the responsibility of the AE firm to cover all costs associated with such delays.

Part Two Services/Construction Period Services (optional line items) shall be performed for the length of time between the time the option(s) are exercised and acceptance of construction completion.

Commissioning Services (optional line items) shall be performed for the length of time between the time the option(s) are exercised and warranty period completion.

16. CONTRACT OVERSIGHT:

All contracts for this project shall be awarded by the Program Contracting Activity Central (PCAC); only a warranted VA Contracting Officer shall have authority to change the terms and conditions of a contract. These changes may involve the contract award amount, contract period of performance, issuance of stop work orders and changes to the statement of work.

PCAC shall designate a Contracting Officer’s Representative (COR) to monitor and manage the A/E’s performance under the design project contract. The COR shall be a representative of the VA Northern Indiana Healthcare System, Marion VA Medical Center Engineering Service Project Section and have the technical knowledge required to monitor and oversee the project.

A COR from the VA Northern Indiana Healthcare System Marion VA Medical Center Engineering Service Project Section shall also be designated for the construction project contract to monitor and manage the construction contractor’s performance under the construction project contract. This designation under the construction contract shall be considered equivalent to the industry standard of “Owner’s Representative” and does not supersede or eliminate the A/E’s responsibility for Part Two Services/Construction Period Services. The A/E ultimately shall be responsible for any errors and omissions with the design discovered during and after the construction phase.

17. REPORTING REQUIREMENTS:

The Contractor shall be required to schedule with the COR and report to the Marion VA Medical Center Engineering Service (Building 52, Room 101) to log in and obtain Contractor ID badge during normal working hours. Any work outside of normal working hours needs to be coordinated with the VA Medical Center COR. This check-in is mandatory. Issued badges must be returned at the end of the workday unless otherwise instructed by the COR.

18. SECURITY REQUIREMENTS:

The A/E is responsible for assuring that all employees and consultant employees working on the project comply with these regulations.

1. Employees shall not be on site without appropriate badge. Employees are responsible for reporting to Building 52 Engineering Office with acceptable photo ID to obtain a badge. VA approved badge shall be worn with the identification facing forward and visible above the waist. The employees may also be subject to inspection of their personal effects when entering or leaving the facility.

2. No photography or video recording of VA premises is allowed without prior authorization.

3. VA issued keys are to remain on VA property. Keys that are checked out from the

Engineering Office shall be returned each day.

4. Before starting any work, the A-E shall submit an electronic security memorandum describing the approach to following goals and maintaining confidentiality of “sensitive information”.

5. The A/E is responsible for safekeeping of all drawings, project manual and other project information. This information shall be shared only with those with a specific need to accomplish the project.

6. All paper waste or electronic media such as CD’s and diskettes shall be shredded and destroyed in a manner acceptable to the VA.

7. VA Information Custodial Language

a. The Authorization requirements do not apply, and that a Security Accreditation

Package is not required.

b. The following standard items relate to records generated in executing this contract:

i. Citations to pertinent laws, codes and regulations such as 44 U.S.C.

Chapter 21, 29, 31 and 33; Freedom of Information Act (5 U.S.C. 552);

Privacy Act (5 U.S.C. 552a); 36 CFR Part 1222 and Part 1228.

ii. Contractor shall treat all deliverables under the contract as the property of the U.S. Government for which the Government Agency shall have unlimited rights to use, dispose of, or disclose such data contained therein as it determines to be in the public interest.

iii. Contractor shall not create or maintain any records that are not specifically tied to or authorized by the contract using Government ‘IT’ equipment and/or Government records.

iv. Contractor shall not retain, use, sell, or disseminate copies of any deliverable that contains information covered by the Privacy Act of 1974 or that which is generally protected by the Freedom of Information Act.

v. Contractor shall not create or maintain any records containing any Government Agency records that are not specifically tied to or authorized by the contract.

vi. The Government Agency owns the rights to all data/records produced as part of this contract.

vii. The Government Agency owns the rights to all electronic information (electronic data, electronic information systems, electronic databases, etc.) and all supporting documentation created as part of this contract.

Contractor must deliver sufficient technical documentation with all data deliverables to permit the agency to use the data.

viii. Contractor agrees to comply with Federal and Agency records management policies, including those policies associated with the safeguarding of records covered by the Privacy Act of 1974. These policies include the preservation of all records created or received regardless of format [paper, electronic, etc.] or mode of transmission [e-mail, fax, etc.] or state of completion [draft, final, etc.].

ix. No disposition of documents will be allowed without the prior written consent of the Contracting Officer. The Agency and its contractors are responsible for preventing the alienation or unauthorized destruction of records, including all forms of mutilation. Willful and unlawful destruction, damage or alienation of Federal records is subject to the fines and penalties imposed by 18 U.S.C. 2701. Records may not be removed from the legal custody of the Agency or destroyed without regard to the provisions of the agency records schedules.

x. Contractor is required to obtain the Contracting Officer's approval prior to engaging in any contractual relationship (sub-contractor) in support of this contract requiring the disclosure of information, documentary material and/or records generated under or relating to this contract. The Contractor (and any sub-contractor) is required to abide by Government and Agency guidance for protecting sensitive and proprietary information.

c. Prior to termination or completion of this contract, contractor/subcontractor must not destroy information received from VA, or gathered/created by the contractor in the course of performing this contract without prior written approval by the VA.

Any data destruction done on behalf of VA by a contractor/subcontractor must be done in accordance with National Archives and Records Administration (NARA) requirements as outlined in VA Directive 6300, Records and Information Management and its Handbook 6300.1 Records Management Procedures, applicable VA Records Control Schedules, and VA Handbook 6500.1, Electronic Media Sanitization. Self-certification by the contractor that the data destruction requirements above have been met must be sent to the VA Contracting Officer within 30 days of termination of the contract.

d. The contractor/subcontractor must receive, gather, store, back up, maintain, use, disclose and dispose of VA information only in compliance with the terms of the contract and applicable Federal and VA information confidentiality and security laws, regulations and policies. If Federal or VA information confidentiality and security laws, regulations and policies become applicable to the VA information or information systems after execution of the contract, or if NIST issues or updates applicable FIPS or Special Publications (SP) after execution of this contract, the parties agree to negotiate in good faith to implement the information confidentiality and security laws, regulations and policies in this contract.

e. The contractor/subcontractor shall not make copies of VA information except as authorized and necessary to perform the terms of the agreement or to preserve electronic information stored on contractor/subcontractor electronic storage media for restoration in case any electronic equipment or data used by the contractor/subcontractor needs to be restored to an operating state. If copies are made for restoration purposes, after the restoration is complete, the copies must be appropriately destroyed.

f. If VA determines that the contractor has violated any of the information confidentiality, privacy, and security provisions of the contract, it shall be sufficient grounds for VA to withhold payment to the contractor or third party or terminate the contract for default or terminate for cause under Federal Acquisition Regulation (FAR) part 12.

g. If a VHA contract is terminated for cause, the associated BAA must also be terminated, and appropriate actions taken in accordance with VHA Handbook 1600.01, Business Associate Agreements. Absent an agreement to use or disclose protected health information, there is no business associate relationship.

h. The contractor/subcontractor must store, transport, or transmit VA sensitive information in an encrypted form, using VA-approved encryption tools that are, at a minimum, FIPS 140-2 validated.

i. The contractor/subcontractor’s firewall and Web services security controls, if applicable, shall meet or exceed VA’s minimum requirements. VA Configuration Guidelines are available upon request.

j. Except for uses and disclosures of VA information authorized by this contract for performance of the contract, the contractor/subcontractor may use and disclose VA information only in two other situations: (i) in response to a qualifying order of a court of competent jurisdiction, or (ii) with VA’s prior written approval. The contractor/subcontractor must refer all requests for, demands for production of, or inquiries about, VA information and information systems to the VA contracting officer for response.

k. Notwithstanding the provision above, the contractor/subcontractor shall not release VA records protected by Title 38 U.S.C. 5705, confidentiality of medical quality assurance records and/or Title 38 U.S.C. 7332, confidentiality of certain health records pertaining to drug addiction, sickle cell anemia, alcoholism or alcohol abuse, or infection with human immunodeficiency virus. If the contractor/subcontractor is in receipt of a court order or other requests for the above-mentioned information, that contractor/subcontractor shall immediately refer such court orders or other requests to the VA contracting officer for response.

l. For service that involves the storage, generating, transmitting, or exchanging of VA sensitive information but does not require C&A or an MOU-ISA for system interconnection, the contractor/subcontractor must complete a Contractor Security Control Assessment (CSCA) on a yearly basis and provide it to the

COR.

End of SOW